AI and Human Oversight: A Risk-Based Framework for Alignment

Abstract: As AI technologies continue to advance, protecting human autonomy and promoting ethical decision-making are essential to fostering trust and accountability. Human agency (the capacity of individuals to make informed decisions) should be actively preserved and reinforced by AI systems. This paper examines strategies for designing AI systems that uphold fundamental rights, strengthen human agency, and embed effective human oversight mechanisms. It discusses key oversight models, including Human-in-Command (HIC), Human-in-the-Loop (HITL), and Human-on-the-Loop (HOTL), and proposes a risk-based framework to guide the implementation of these mechanisms. By linking the level of AI model risk to the appropriate form of human oversight, the paper underscores the critical role of human involvement in the responsible deployment of AI, balancing technological innovation with the protection of individual values and rights. In doing so, it aims to ensure that AI technologies are used responsibly, safeguarding individual autonomy while maximizing societal benefits.